Sr Sales Supervision Principal

Job Family

Regulatory Compliance

At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests.

Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there.

We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life.

Today, we’re part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them.

We’re empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good — for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms.

Transamerica is organized into three distinct businesses. These include
1) World Financial Group, including Transamerica Financial Advisors,
2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and
3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs.

Transamerica employs nearly 7,000 people. It’s part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide.
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Conduct suitability review of new business and provide compliance oversight of registered representatives.

• Conduct and oversee account reviews for client’s best interest.
• Preapprove complex products prior to distribution to clients.
• Provide compliance training and guidance.
• Ensure adherence to business line processes and controls.
• Track and assist with investment issues and complaints.
• Track quality reports and identifying potential issues.
• Manage OSJ files for RIA, broker/dealer and insurance agency.
• Certify the regulatory requirement for the RIA are being completed.
• Assist with licensing and registration issues.
• Investigate regulatory violations, sales practice improprieties, or other policy violations.
• Assist with the preparation for regulatory audits.
• Perform Principal guidance and training, and provide supervisory feedback.

• Bachelor’s degree in finance or business-related field, or equivalent work experience.
• Five years of suitability/best interest review experience, investment sales supervision, or similar work.
• FINRA Series 6 or 7.
• FINRA Series 63, 26, 65, or 66, 24.
• Thorough knowledge of securities products, FINRA, SEC and DOL regulations.
• Ability to analyze complex issues and recommend solutions.
• Strong written and verbal communication skills.
• Attention to detail.
• Proficiency in MS Office (Word, Excel).

• Office Environment

The salary for this position generally ranges between $65,000 - $75,000 annually/per hour.
Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and…